Services
Starting your own broker-dealer firm can be an exciting and potentially lucrative venture. However, obtaining FINRA’s approval is a challenge that should not be undertaken without an attorney’s guidance. Warren Law Group’s legal team has the background and knowledge to ensure your broker-dealer formation runs smoothly and sets you up for a prosperous future.
Our financial services lawyers understand the difficulties and complications that broker-dealers face in all stages of their business, especially when dealing with FINRA. Our attorneys have the expertise to help your firm obtain approval from FINRA without delay by completing the FINRA membership application, establishing compliance controls, and writing supervisory procedures that follow SEC, FINRA, CFTC, U.S. Treasury, and National Futures Association (NFA) guidelines. We can also assist you in acquiring a Continuing Membership Application (CMA) if necessary. A CMA application under FINRA Rule 1017 is required in connection with a merger, acquisition, asset transfer, change of ownership and control, or a material change in business operations.
Additionally, our experienced financial attorneys can help you set up and manage your corporate framework, tax structures, seed investments, and any ongoing capital issues.
The Warren Law Group attorneys, led by Christopher Warren, have joined Scarinci Hollenbeck, LLC. Warren and his team of attorneys help launch a dynamic 25-attorney financial services, government investigations, and business litigation law office in Manhattan, NYC. This deal not only marks a significant expansion for Scarinci Hollenbeck, LLC into New York, but also reinforces its commitment to providing top-tier, diverse legal solutions in the heart of Midtown Manhattan.
“Teaming up with Scarinci Hollenbeck, LLC is a big step for us. It puts us in the league of firms that large companies trust in New York City,” said Christopher Warren, Managing Partner of Warren Law Group. “I’m thrilled to work with my new colleagues at Scarinci Hollenbeck, LLC who, like us, are all about teamwork, innovative solutions, and relentless dedication to our clients. We’re using the latest tools to bring real value to our clients, a kind of value that traditional law firms just don’t offer.”
Press Release: Read the Official Announcement
Scarinci Hollenbeck, LLC defends individuals and companies in all types of litigation. Our team has decades of experience in all types of litigation, white collar defense, securities litigation, and financial services enforcement proceedings.